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Policy StatementOur Education and Care Service affirms that people have a right to question and influence

decisions made and services provided. We take complaints seriously and manage them in a

confidential, timely, transparent and meaningful way. We achieve this by:

⊲ Maintaining the confidentiality of all parties in line with policy and legislative requirements.

⊲ Acknowledging that the common goal is to achieve an outcome acceptable to all parties.

⊲ Acting in good faith and in a calm and courteous manner.

⊲ Showing respect and understanding of each other’s point of view and value difference,

rather than judge and blame.

⊲ Recognising that all parties have rights and responsibilities which must be balanced.

⊲ Complaints will be handled objectively and complainants will not suffer any reprisals from

making a complaint.

Goals / What are we going to do?Our service values the feedback of educators, staff, families and the wider community as a

mechanism to support the continuous improvement of our service.

Strategies / How will it be done?Making a Complaint

⊲ Written guidelines detailing complaint procedures are available in our services family

handbook. This is also displayed in the foyer for easy reference.

Complaints HandlingQUALITY AREA 7: GOVERNANCE AND LEADERSHIP

Reviewed: Sept 2018

SAMPLE POLICY

CELA IS BROUGHT TO YOU BY COMMUNITY CHILD CARE CO-OPERATIVE

Complaints Handling QUALITY AREA 7: GOVERNANCE AND LEADERSHIP

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⊲ Families may make a complaint directly to the child’s educator, the Approved Provider or

the Nominated Supervisor.

⊲ Educators will discuss complaints procedures with children and encourage them to raise

any issues they have.

Responsiveness

All complaints will be acknowledged and responded to as soon as practicable. Complaints

will be dealt with in a timely manner and complainants will be kept informed about the

progress of their complaint and anticipated timeframes. Allegations of suspected harm or

risk of harm to a child or possible victims of crime, will be actioned immediately by urgent

referral or reporting to the relevant agency.

Refer to ACECQA for relevant timeframes: https://www.acecqa.gov.au/resources/

applications/notification-types-and-timeframes

Managing a Complaint

Where possible, complaints will be dealt with immediately, by the child’s educator as this is

usually the person with the closest relationship with the family. If the complaint is about an

issue that the educator considers to be outside their control, or the family does not feel they

wish to share it with the educator, the complainant will be directed to the appropriate person

for their complaint to be resolved.

Where an educator believes they will have to share in confidence with another person in

order to resolve an issue, or if the nature of a complaint requires that a third party has to be

informed in order to meet legislative requirements, they will inform the family of the need

prior to any further discussions on the matter.

⊲ The complaint will be documented and any legal requirements in relation to the

complaint considered, such as the need to notify regulatory authorities.

⊲ The complainant will be asked to provide information regarding how the situation could be

rectified to their satisfaction.

⊲ If possible, the problem will be resolved immediately. If this is not possible, the

complainant will be advised that the issue will be given high priority and dealt with as soon

as possible.

⊲ If the issues are complex the complainant will be asked to put their concerns in writing.

⊲ Where mediation is required all parties will have the right to agree to the appointment

of the mediator.

Complaints Handling QUALITY AREA 7: GOVERNANCE AND LEADERSHIP

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Notifiable Complaint

Complaints alleging that the safety, health or wellbeing of a child was or is being

compromised, or that the law has been breached must be reported by the Approved Provider

to the Regulatory Authority within 24 hours of the complaint being made (Section 174(2)(b),

Regulation 176(2)(b)).

Refer to the service Child Protection Policy and Proceedure.

Complaints, incidents and serious incidents must be notified to the regulatory authority

through the National Quality Agenda IT System (NQA IT System). Log in to access the portal

where you can select the incident or complaint type and enter the required information.

Approved Providers are required to notify the regulatory authority of a complaint that alleges:

⊲ A serious incident has occurred or is occurring while a child is being educated and cared for

by a service.

⊲ The National Law and/or National Regulations have been contravened.

A serious incident can include:

⊲ The death of a child while that child is being educated and cared for at the service or

following an incident while that child was being cared for by the service.

⊲ A serious injury or trauma while the child is being educated and cared for, which:

» Required urgent medical attention from a registered medical practitioner; or

» The child attended or should have attended a hospital.

⊲ Any incident involving serious illness at the service, where the child attended, or should

have attended a hospital (e.g. severe asthma attack, seizure or anaphylaxis).

⊲ Any circumstance where a child appears to be missing or cannot be accounted for.

⊲ Any circumstance where a child appears to have been taken or removed from the service

premises by someone not authorised to do this.

⊲ Any circumstance where a child is mistakenly locked in or locked out of the service

premises or any part of the premises .

⊲ Any emergency for which emergency services attended. NOTE: It does not mean an incident

where emergency services attended as a precaution.

A serious injury, illness or trauma includes but is not limited to:

⊲ Amputation

⊲ Anaphylactic reaction requiring hospitalisation

Complaints Handling QUALITY AREA 7: GOVERNANCE AND LEADERSHIP

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⊲ Asthma requiring hospitalisation

⊲ Broken bone/Fractures

⊲ Bronchiolitis

⊲ Burns

⊲ Diarrhoea requiring hospitalisation

⊲ Epileptic seizures

⊲ Head injuries

⊲ Measles

⊲ Meningococcal infection

⊲ Sexual assault

⊲ Witnessing violence or a frightening event

Direct Complaints

Families can make a complaint directly to the Regulator Authority where the complaint

alleges that:

⊲ The safety, health or wellbeing of a child or children was or is being compromised while

that child or children is or are being educated and cared for by the approved education and

care service.

⊲ The relevant legislation has been contravened.

⊲ Contact details are available in the family hand book and displayed in the foyer of

the service.

Follow-Up and Review

Each complaint will be viewed as an opportunity for improvement. After the complaint or

grievance has been dealt with, we will:

⊲ Analyse the complaint to determine if any policy or procedural changes need to be

implemented.

⊲ The Approved Provider will follow through to determine that complaints and grievances

have been successfully resolved to everyone’s satisfaction. Families will be contacted to

determine if they were satisfied with the way the issue was resolved, and educators’ will be

consulted about the outcome from an operational viewpoint.

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Roles and Responsibilities

Role Authority/Responsibility For

Approved Provider

⊲ When a complaint or grievance has been assessed as ‘notifiable’, the

Approved Provider must notify Regulatory Authority within 24 hours.

⊲ In instances where the complainant reports directly to the Regulatory

Authority, the Approved Provider will still have responsibility for

investigating and dealing with the complaint or grievance as outlined

in this policy, in addition to co-operating with any investigation by the

Regulatory Authority.

⊲ Identifying, preventing and addressing potential concerns before they

become formal complaints/grievances.

⊲ Ensuring that the name and telephone number of the person to whom

complaints and grievances may be addressed are displayed prominently

at the main entrance of the service.

⊲ Ensuring that the address and telephone number of the Regulatory

Authority displayed prominently at the main entrance of the service.

⊲ Advising parents/guardians and any other new members of the ELC of the

complaints and grievances policy and procedures upon enrolment.

⊲ Ensuring that this policy is available for inspection at the service at

all times.

⊲ Providing a Complaints and Grievances Register.

Nominated Supervisor

⊲ Responding to and resolving issues as they arise where practicable.

⊲ Discussing minor complaints directly with the party involved as a first

step towards resolution.

⊲ Informing complainants of the service’s complaints and grievances

policy recording all complaints and grievances in the complaints and

grievances register.

⊲ Notifying the approved provider if the complaint escalates or is unable to

be resolved appropriately in a timely manner.

⊲ Providing information as requested by the approved provider e.g. Written

reports relating to the grievance.

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Role Authority/Responsibility For

Nominated Supervisor

⊲ Complying with the service’s privacy and confidentiality policy and

maintaining confidentiality at all times.

⊲ Working co-operatively with the approved provider, in any investigations

related to a complaint made.

Early Childhood Educators

⊲ Ensure that grievances and complaints are dealt with in accordance with

this policy.

⊲ Report any grievances and complaints to the Nominated Supervisor and

maintain all relevant documentation.

⊲ As requested, support the nominated Supervisor and Approved Provider in

the above roles.

Families ⊲ Raising a complaint directly with the person involved, in an attempt to

resolve the matter without recourse to the complaints and grievances

procedures.

⊲ Communicating any concerns relating to the management or operation of

the service as soon as is practicable.

⊲ Raising any unresolved issues or serious concerns directly with the

approved provider, via the nominated supervisor or staff.

⊲ Maintaining complete confidentiality at all times.

⊲ Co-operating with requests to provide relevant information when

requested in relation to complaints and grievances.

Monitoring, Evaluation and ReviewThis policy will be monitored to ensure compliance with legislative requirements and unless

deemed necessary through the identification of practice gaps, the service will review this

Policy every two years.

Families and staff are essential stakeholders in the policy review process and will be given

opportunity and encouragement to be actively involved.

In accordance with R. 172 of the Education and Care Services National Regulations, the service

will ensure that families of children enrolled at the service are notified at least 14 days before

making any change to a policy or procedure that may have significant impact on the provision

of education and care to any child enrolled at the service; a family’s ability to utilise the

service; the fees charged or the way in which fees are collected.

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RELATED GUIDELINES, STANDARDS, FRAMEWORKS ⊲ National Quality Standard, Quality Area 7: Governance and Leadership –

Standard 7.1

SOURCES ⊲ ACECQA – www.acecqa.gov.au

⊲ NSW Ombudsman (2004) ‘Effective Complaint Handling’. NSW Ombudsman

3rd Edition 28 February 2017

⊲ Complaints Management Framework June 2015 –

www.ombo.nsw.gov.au/__data/assets/pdf_file/0004/25375/Complaint-

management-framework-June-2015.pdf

⊲ Complaint Handling Toolkit for Community Services Organisations –

www.ombo.nsw.gov.au/__data/assets/pdf_file/0017/5813/BR_Complaint-

Handling-Kit-CS-CRAMA-Brochure-2013-web.pdf

Related Legislation

⊲ Education and Care

Services National

Law Act 2010:

Sections 174(2)(b)

⊲ Education and Care

Services National

Regulations:

Regulations 168(2)

(o) and 176(2)(b)

⊲ Privacy and

Personal

Information

Protection Act

1998 (NSW)

⊲ Health Records and

Information Privacy

Act 2002

⊲ Privacy Act

1988 (Cth)

⊲ Privacy

Regulation 2013

This is a sample policy only. Community Early Learning Australia (CELA) considers this form to satisfy what is required under the Education and Care Services National Regulations and has taken all care in compiling this information. We have done this on the understanding that all members undertake responsibility for assessing the relevance and accuracy of the content for their service’s situation.